证监会

监管职能

监管工作涉及广泛的层面,需要不同范畴的专才分工合作。机械齿轮相互紧扣推动机器运作,同样地,我们以专业的团队精神履行以下的监管职能,以应付日趋复杂的证券及期货市场:

监管架构

我们厘定及执行适当的资格准则,确保所有获发牌的公司和人士都适合进行受规管活动,并会持续监察所有持牌公司及人士,以确定他们财政状况稳健及守法循规。另外又对持牌人进行非现场监察及实地视察,并对涉嫌行为失当的持牌人作出调查。为协助持牌人了解最新的监管准则,我们持续向业界提供指引。

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《证券及期货条例》赋权证监会打击证券及期货市场的失当行为及罪行。除了对上市公司及持牌人作出监察、调查及纪律处分,我们亦对其他违规的市场参与者采取执法行动。如有需要,我们会与本地及海外的执法机构合作进行各类调查。

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我们监察交易所、结算所及另类交易平台等市场营运机构的表现。为优化香港市场的运作,以及确保业界能与国际发展趋势同步并进,我们不时引进新规则,并在有需要时修订现行法规。

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我们监察香港联合交易所有限公司(联交所)执行上市规则及其他方面的表现。在双重存档制度下,我们与联交所一起审批上市申请,并致力确保上市公司适时披露重要消息。如有公众公司计划进行收购、合并或私有化活动,我们致力确保投资者得到公平的对待。

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我们不会预先判断个别产品是否适合投资者,亦不会评定产品的优劣,但我们规定,所有零售投资产品均须在销售文件及推广材料刊载充分而准确的资料,让投资者作出有根据的决定。此外,投资产品必须符合本会的产品守则内所有适用的的结构规定及发行商资格规定。

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免责声明 Disclaimer statement

香港证券及期货事务监察委员会(简称证监会)于本网站免费提供一套繁简字体转换软件(该软件)。证监会允许本网站的使用者利用该软件将本网站内容由繁体中文版转换成为简体中文版。证监会不会就该软件欠妥之处承担任何法律责任,亦不会就其品质及性能作出任何担保;尤其是在无损前述的一般性的原则下,证监会无需就该软件对某用途的恰当性、其品质或可商售性承担任何该等明示或隐含的、法定或非法定的法律责任。

证监会明确陈述,本会并无核准或认可本网站内容的简体中文版,以及对于本网站内容的简体中文版不承担任何责任或法律责任(不论是何种及如何引致的责任或法律责任)。证监会同时明确陈述,本网站的简体中文版纯粹是利用该软件将繁体中文版内的中文字体转换成简体中文字而得来的,当中并不涉及香港特区与内地的用词及语句的对应转换。对于该简体中文版的内容的恰当性,证监会不承担任何责任或法律责任。在任何情况下,使用者都不应视本网站内容的简体中文版为其繁体中文版的对应版本。使用者应该参照该简体中文版的已发布繁体中文版来核实该简体中文版的网站内容,并且应该在依赖本网站内容的简体中文版或根据其内容行事之前,就该版本的内容的法律效力、有效性和效果自费征询独立的法律意见。

如果你将证监会网站的简体中文版的内容或网址传送予第三者,你承诺会将本免责声明同时传送予该第三者,并保证该第三者在浏览本网站的简体中文版的内容之前同意接纳本免责声明。

The Securities and Futures Commission (SFC) provides a character-based conversion software (this Software) free of charge in this website. Permission is granted for users to use this Software to convert the web content from traditional Chinese character version to simplified Chinese character version. The SFC undertakes no liability for defects in this Software and gives no warranty in relation to its quality and performance and in particular, but without prejudice to the generality of the foregoing, the SFC shall have no such liability regarding the fitness for purpose, quality or merchantability of this Software, whether express or implied, statutory or otherwise.

The SFC expressly states that it has not approved or endorsed the simplified Chinese character version of the web content and the SFC accepts no responsibility or liability (whatsoever and howsoever caused) for such simplified Chinese character version of the web content. The SFC also expressly states that this simplified Chinese character version of the website is solely established by converting the characters in the traditional Chinese character version via this Software, which involves no corresponding conversion between the terms and expressions used in the Hong Kong SAR and Mainland China. The SFC accepts no responsibility or liability for the fitness of the content of the simplified Chinese character version. Under no circumstances should users treat the simplified Chinese character version of the web content as an equivalent of the traditional Chinese character version thereof. Users should verify the simplified Chinese character version of the web content by making reference to the published traditional Chinese character version thereof, and should at their own costs seek independent legal advice on the legal status, validity and effect of the simplified Chinese character version of the web content before relying or acting upon it.

If you transmit the content of this simplified Chinese character version website or its URL to any third party, you agree to forward this Disclaimer Statement at the same time to the third party and guarantee that the third party agrees to accept this Disclaimer Statement before browsing the content of the simplified Chinese character version of this website.

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